Antonio T. Carozza
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Antonio Thomas Carozza was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 1989. Antonio had worked at 6 firms and has passed the Series 63, Series 6 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2012 - August 15, 2013
CAPITAL BROKERAGE CORPORATION
October 15, 2010 - December 31, 2011
ALLSTATE FINANCIAL SERVICES, LLC
December 16, 2005 - July 29, 2009
CAPITAL BROKERAGE CORPORATION
November 24, 2000 - September 15, 2004
WELLS FARGO CLEARING SERVICES, LLC
April 14, 1994 - December 4, 1996
JOSEPHTHAL & CO., INC.
March 13, 1992 - April 14, 1992
REICH & CO., INC.
June 20, 1989 - October 15, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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